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One Financial Way, Cincinnati, OH 45242 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| OH | RA | APPROVED | 2026-03-02 |
| UT | RA | APPROVED | 2025-08-25 |
| OK | RA | APPROVED | 2023-04-27 |
| NE | RA | APPROVED | 2022-10-11 |
| TX | RA | APPROVED_RES | 2022-10-10 |
| NC | RA | APPROVED | 2022-02-07 |
| AZ | RA | APPROVED | 2021-02-26 |
| CA | RA | APPROVED | 2020-04-01 |
| SC | RA | APPROVED | 2017-04-25 |
| IL | RA | APPROVED | 2016-01-27 |
| FL | RA | APPROVED | 2015-09-02 |
| IA | RA | APPROVED | 2004-09-21 |
Branch Locations
425 2Nd Street Se Suite 310, Cedar Rapids, IA 52401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Mutual Life Insurance Company | Des Moines | IA | 07/1991 | Present |
| The O.N. Equity Sales Company | Cincinnati | OH | 01/2004 | Present |
1)HIGHLAND CAPITAL BROKERAGE; NOT INVETMENT RELATED; MILWAUKEE WI; INSURANCE BROKERAGE-WRITTED SOME LIFE & DI; BROKER; 06/2008; 3 HOURS/MONTH(0 DURING SECURITIES TRADING); LIFE DI ANNUITIES; EIA SALES, INSURANCE BROKERAGE. 2)WESTERN CATHOLIC UNION; NOT INVESTMENT RELATED; 510 MAIN ST QUINCY IL 62301; INSURANCE BROKERAGE-WROTE SOME FIXED ANNUITIES & LIFE; BROKER; 05/2008; 2 HOURS/MONTH (0 DURING SECURITIES TRADING);INSURANCE BROKERAGE. 3) SUNSET RIDGE INVESTMENTS LLC; NOT INVESTMENT RELATED; 425 2ND STREET SE 3RD FLOOR CEDAR RAPIDS IA 52401; PURCHASED OFFICE SPACE WHERE OUR ONL AGENCU IS LOVATED. HAVE SEVERAL TENNANTS RENTING FROM US; PRESIDENT; 06/15/2014; LIMITED LANDLORD RESPONSIBILITES. COLLECT RENTS FROM TENNANTS; 4 HOURS/ MONTH (0 DURING SECURITY HOURS); PURCHASED A FLOOR OF AN OFFICE BUILDING. OUR ONL AGENCY IS LOCATED IN THIS SPACY ALSO. BUILDING IS A CONDO BUILDING SO MAINTENANCE IS LIMITED.4) Benefit Solutions; not investment related; 425 2nd street se, Cedar Rapids, IA 52401; group insurance products; 09/15/2017-present; 2 hours/month(0 during market hours); asking business owners about their group benefits. 5) Quantum Group; not investment related; 17550 N Perimeter Dr Scottsdale Az 85255; Life insurance and fixed annuity brokerage; Independent Broker; 06/15/2022; 2 hours/month ( 2 hours/month) ;Occasional life insurance brokerage and fixed annuity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-09-27 |
| S63 | Uniform Securities Agent State Law Examination | 1986-07-31 |
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